Corrective Action Plans

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Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Hawaii implemented an upfront work participation requirement as a condition of eligibility for TANF applicants beginning 2009. The purpose of the upfront work participation is to prepare app...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Hawaii implemented an upfront work participation requirement as a condition of eligibility for TANF applicants beginning 2009. The purpose of the upfront work participation is to prepare applicant families to engage in the TANF work program. Our state temporarily amended its TANF State Plan in response to the COVID 19 pandemic, suspending the upfront work participation requirements, described in Part B, section 15.1, effective March 27, 2020. This suspension coupled with relaxed administrative policies for all means-tested programs which included TANF, Supplemental Nutrition Assistance Program, and our state-funded General Assistance and Aid to the Aged, Blind and Disabled, and operational changes statewide allowed the Department to process applications expeditiously ensuring eligible families have access to their financial assistance benefits quickly. In March 2020, Hawaii’s unemployment rate was as low as 2.2% (seasonally adjusted) but it increased considerably to 22.6% in April 2020 following the state’s first shut-down due to the COVID 19 pandemic. The state’s TANF caseload increased by about 177%, from March 2020 with 3,969 recipient families to 7,040 families in December 2020 following the state’s second shut-down. While the upfront work program participation was suspended as a condition of eligibility for TANF applicants, Hawaii still required recipients to participate with the work program after they were determined eligible for TANF benefits. The good cause provision was exercised judiciously and to the extent allowable under TANF federal regulations and Hawaii administrative rules. Our TANF work program extended its services to provide families the opportunities to receive additional support such as case management and counseling services; to access information and referrals to community resources such as housing assistance and food distribution events; and to receive assistance in navigating through programs, benefits, and services that our department and other government agencies have available during this period of economic downturn resulting from the health emergency. It was not until March 25, 2022, when then Governor David Y. Ige ended the state’s emergency proclamation relating to COVID 19. The Department continued to suspend the upfront work participation requirements through May 31, 2023, allowing a transition period to adjustour operations. The upfront work participation requirement as a condition of eligibility was reinstated for families who applied for TANF financial assistance benefits beginning June 1, 2022, with only four months remaining in the fiscal year. Other administrative policies that were temporarily suspended or amended in response to the pandemic were reinstated effective July 1, 2022. The public health emergency and heightened period of COVID 19 restrictions forced the Benefit, Employment and Support Services Division (“BESSD”), who oversees the TANF and other means-tested public assistance programs, to immediately modify its operations statewide, ensuring the continuity of its programs and services and making them more accessible to the public. It was important to provide BESSD a transition period to review its policies and operational procedures and allow its staff of over 650 employees to adjust after two years of operating programs and services in a manner that was unprecedented for the division. On January 17, 2024, the TANF program office met with the Statewide Branch Administration (“SBA”), who oversees the state First To-Work (“FTW”) program staff, to discuss the concerns regarding the work participation rates, active TANF recipients who were referred to FTW but not yet participating in the program, and strategies to address the concerns. Subsequently, on January 25, 2024, SBA held a meeting with the state FTW unit supervisors to share the concerns raised on the work participation rates and to solicit comments and suggestions. TANF program administrator and lead program specialist were in attendance to notate comments and suggestions. Corrective Action Taken or Planned: Pursuant to 45 CFR 262.5, the Department requested consideration for reasonable cause from the Administration for Children and Families (“ACF”), for not meeting the two parent work participation rate for fiscal year 2022. Response and determination from ACF is pending. The FTW unit supervisors were instructed, during the January 25, 2024 meeting, to invite and schedule the active TANF recipients, who were referred but not yet participating, to attend a work program orientation as soon as possible. It is expected that remaining active TANF recipients will be invited to the FTW program by March 31, 2024. TANF program office is exploring the suggestions received during the January 25, 2024 meeting with SBA and FTW unit supervisors. For example, it was suggested that the FTW program provide additional supportive service payments to participants, who are in countable non employment related work activities, to incentivize them to maintain their program engagement. However, this suggestion has a fiscal impact and will require the FTW program administrative rules to be amended before it can be implemented. The TANF program office plans to require both parents of two parent households to participate in the FTW program. Due to capacity issues of both state and contract staff, only one parent is required to participate and meet work program requirements for the TANF recipient household. The TANF caseloads have declined; therefore, capacity is no longer a concern. Expected Completion Date: March 31, 2025 Responding Officials: Catherine Scardino, Temporary Assistance for Needy Families Program Administrator
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. On March 4, 2024, during the process of making corrections to cases rejected by ACF, it was discovered that one of the jobs that uploads the current FTW file did not function properly resulti...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. On March 4, 2024, during the process of making corrections to cases rejected by ACF, it was discovered that one of the jobs that uploads the current FTW file did not function properly resulting in the back up file for the previous month being used for the current report month. This resulted in incorrect work participation data reported on the ACF 199 for FFY 2023. Corrective Action Taken or Planned: Corrections are being made and the FFY 2023 ACF 199 reports are being re run. The final annual ACF 199 report for FFY 2023 will be resubmitted to ACF before the deadline of March 29, 2024. Expected Completion Date: March 29, 2024 Responding Officials: Catherine Scardino, Temporary Assistance for Needy Families Program Administrator
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: Subawards will be entered into the FSRS within the appropriate timeframe following the execution of the contract. Expected Completion Date: Not applica...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: Subawards will be entered into the FSRS within the appropriate timeframe following the execution of the contract. Expected Completion Date: Not applicable as reporting of federal subawards is an ongoing requirement. Responding Officials: Catherine Scardino, Temporary Assistance for Needy Families Program Administrator
Views of Responding Officials: The Department agrees with the finding and will implement corrective action, however, notes the following: The referrals to the Child Support Enforcement Agency (“CSEA”) are done through an interface between the HAWI eligibility and CSEA’s KEIKI systems. When a recip...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action, however, notes the following: The referrals to the Child Support Enforcement Agency (“CSEA”) are done through an interface between the HAWI eligibility and CSEA’s KEIKI systems. When a recipient is determined noncompliant by CSEA, the information is sent via the interface from KEIKI to HAWI in the form of a system-generated alert. This process worked well when application processing and maintenance of recipient cases were done in a case management method (e.g., each eligibility worker assigned to process applications and/or maintain a caseload of active cases). Using this method, eligibility workers managed their caseloads and checked for incoming alerts for cases assigned to them; these alerts included the CSEA noncompliant alerts coming from the KEIKI system. Workers were able to take appropriate and timely action in response to the alerts received. However, necessary changes were made to how applications and active cases are managed. The division stopped the case management method and converted to “task-oriented” processing statewide. Workers are no longer assigned to caseloads but are assigned to “tasks” such as processing applications, incoming documents/verifications, reported changes, six month review and annual recertifications, etc. A case is not reviewed and worked in HAWI until a worker is prompted to do so, e.g., six-month review, annual recertification or a change was reported by the household. It is until such action occurs when an eligibility worker, who picks up the task, will check for alerts for the case. Aside from that, recipient cases will not be reviewed during their certification period. So how the “alerts” were developed in HAWI no longer works for the way we currently process applications and maintain recipient cases. We are unable to modify the HAWI system because we are currently developing a new eligibility system that will replace HAWI. The new eligibility system is scheduled to go into production in late 2024. Corrective Action Taken or Planned: As an interim solution until the new eligibility system rolls out into production, a shared folder is being created where CSEA will place the monthly reports of non cooperating TANF cases so designated TANF staff members, who are granted access to the shared folder, will be able to retrieve the reports. TANFPO will review the identified TANF cases. Individual lists will be forwarded to the Section Administrators to instruct the affected Processing Centers to take appropriate action (i.e., TANF case closure due to noncompliance with CSEA). Expected Completion Date: July 1, 2024 Responding Officials: Catherine Scardino, Temporary Assistance for Needy Families Program Administrator
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department does not agree with this finding. According to 45 CFR section 205.55, it states, “…the State agency will request through the IEVS…”. However, the policy does not specify the State agency must “properly use IEVS information to evaluate benefit amounts…...
Views of Responding Officials: The Department does not agree with this finding. According to 45 CFR section 205.55, it states, “…the State agency will request through the IEVS…”. However, the policy does not specify the State agency must “properly use IEVS information to evaluate benefit amounts…” as notated in this finding under “Effect.” Unless IEVS provides the necessary information for the applicable benefit month(s) used to determine a TANF applicant’s or recipient’s (“client”) eligibility, information obtained will only validate whether a household received an income source, after the fact, but will not verify the dollar amount. Hard-copy verification is obtained from the client to verify income source and dollar amount, for the applicable benefit months, to determine eligibility in accordance with §17 676 51, Hawaii Administrative Rules. For example, if a client applied for TANF on January 31, 2024, and the Department processes the application on February 29, 2024 (current month), verification of the household’s income received in January 2024 and received thus far in February 2024, must be obtained to determine eligibility for the month of application (January 2024) and subsequent months (based on projected income). Data obtained from IEVS are not current. For example, wage information through SWICA becomes available on a quarterly basis. The most current SWICA information available would have been for quarter ending December 31, 2023, for an application that was processed on February 29, 2024. Eligibility determination would have been improperly made if SWICA information was applied. Corrective Action Taken or Planned: The Department will continue to conduct IEVS check and utilize information obtained to determine eligibility if the information is applicable, otherwise, IEVS information will continue to be used to validate any source of income. Expected Completion Date: Ongoing Responding Officials: Catherine Scardino, Temporary Assistance for Needy Families Program Administrator
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken of Planned: The Department has identified a gap in training and education, that caused a failure to enforce the contract requirements for plans to submit audited fin...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken of Planned: The Department has identified a gap in training and education, that caused a failure to enforce the contract requirements for plans to submit audited financial statements pursuant to 42 CFR 438.3(m). Training and education were completed. The Department has engaged with a vendor to implement our new online provider enrollment system HOKU on August 3, 2020 and started the process to have all providers re register their information in the new online system. All providers were given a deadline to do this by December 31, 2023 and if missed they would be terminated in 2024. Expected Completion Date: April 30, 2024 Responding Official: Marvin Malohi, Med-QUEST Division Supervising Contracts Specialist
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: The Department’s Fiscal Management Office will update and change their procedure by using the entire prior year payroll allotment first, instead of recla...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: The Department’s Fiscal Management Office will update and change their procedure by using the entire prior year payroll allotment first, instead of reclassing expenditures to the current year. This will eliminate the excess cash that was sitting in the account. Expected Completion Date: June 2025 Responding Officials: Daisy L. Hartsfield, Social Services Division, Administrator; Carolina B. Anagaran, Social Services Division, Support Services Office, Administrator; Kisha C. Raby, Social Services Division, Child Welfare Services Program Development Office, Administrator; Rachel Thorburn, Child Welfare Services Program Development Office, Assistant Administrator; and Joey Wong, Fiscal Management Office Accountant
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: 1. Child Welfare Service (“CWS”) staff will be informed of the audit findings, the importance of diligent compliance of policies and procedures, records m...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: 1. Child Welfare Service (“CWS”) staff will be informed of the audit findings, the importance of diligent compliance of policies and procedures, records maintenance and this corrective action plan. 2. Unit staff (Licensing, CWS, and FPPEU) who manage cases identified with errors in this audit will be retrained, ensuring familiarity with grant requirements and related policies and procedures. • Staff will be given coaching/supervisory support to correctly complete documentation. 3. Case specific audit findings and corrective action taken will be noted in each record where there was a finding. • Secure a copy of the missing modified guardianship/permanency assistance agreement, demonstrating support for the monthly assistance paid. • Document the qualifying need for Difficulty of Care (“DOC”) determination for the records, showing how DOC was calculated. • Investigate whether the child who attained the age of 14 was consulted regarding the kinship guardianship agreement. Discuss this with the youth and document. • Locate missing clearances or re run them if not located, placing note in record about audit re run. Note: Not all clearances are secured prior to placement; FBI clearances come later and are NOT required prior to placement in a “provisionally licensed” home. • Secure documentation for case regarding continuation of monthly subsidy payments after the child’s 18th birthday. 4. The identified errors and the related corrective action steps proposed above will be reviewed by CWS Administrators, staff supervisors, and the Management Information Compliance Unit (“MICU”) within 90 days to ensure missing documentation has been secured and/or properly noted in record. 5. MICU staff will audit records with findings to ensure errors have been documented and corrected. • MICU will work with Branch Administrators, Social Services Assistants (“SSA”), and program personnel to ensure file updates with completion of missing information. 6. As CWS implements this corrective action plan and monitors the results, the action steps proposed in 1 – 5 may be modified, based on input from CWS Administrators or exploration groups with line staff who complete this documentation. Expected Completion Date: May 31, 2024 and on-going Responding Officials: Kisha C. Raby, Social Services Division, Child Welfare Services Program Development Office, Administrator
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department agrees with the finding and will implement corrective action; however, notes the following: Adoption Assistance is an incentive program with payment beginning prior to the finalization of an adoption. The adoption decree is not required for payment as ...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action; however, notes the following: Adoption Assistance is an incentive program with payment beginning prior to the finalization of an adoption. The adoption decree is not required for payment as the Adoption Assistance Agreement must be entered into prior to the finalization of an adoption. Corrective Action Taken or Planned: 1. Child Welfare Service (“CWS”) staff will be informed of the audit findings, the importance of diligent compliance of policies and procedures, records maintenance and this corrective action plan. 2. Unit staff (Licensing, CWS, and FPPEU) who manage cases identified with errors in this audit will be retrained, ensuring familiarity with grant requirements and related policies and procedures. • Staff will be given coaching/supervisory support to correctly complete documentation. 3. Case specific audit findings and corrective action taken will be noted in each record where there was a finding. • Research/review and document why licensing approval was granted to a household with an individual who was convicted of spousal abuse. i. If review determines that Adoption Assistance Agreement (“AAA”) was inappropriately authorized, provide family with an adverse action notice discontinuing the AAA and explaining the appeals process. • Investigate whether supporting documentation regarding whether the State determined that the child cannot or should not be returned to the home of his or her parents can be located and added to the record. • Secure a copy of the missing adoption decree, although adoption assistance is an incentive program with payment beginning prior to the finalization of an adoption. • Document the qualifying need for Difficulty of Care (“DOC”) determination for the records, showing how DOC was calculated. • Document how income eligibility was verified. • Secure missing modified adoption agreements. • Locate missing clearances or re run them if not located. Note: Not all clearances are secured prior to placement; FBI clearances come later and are NOT required prior to placement in a “provisionally licensed” home. 4. The identified errors and the related corrective action steps proposed above will be reviewed by CWS Administrators, staff supervisors, and the Management Information Compliance Unit (“MICU”) within 90 days to ensure missing documentation has been secured and/or properly noted in record. 5. MICU staff will audit records with findings to ensure errors have been documented and corrected. • MICU will work with Branch Administrators, Social Services Assistants (“SSA”), and program personnel to ensure file updates with completion of missing information. 6. As CWS implements this corrective action plan and monitors the results, the action steps proposed in 1 – 5 may be modified, based on input from CWS Administrators or exploration groups with line staff who complete this documentation. Expected Completion Date: May 31, 2024 and on going Responding Officials: Kisha C. Raby, Social Services Division, Child Welfare Services Program Development Office, Administrator, and Tonia Mahi, Social Services Division, Child Welfare Services Program Development Office, Assistant Branch Administrator
View Audit 302108 Questioned Costs: $1
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: 1. Child Welfare Service (“CWS”) staff will be informed of the audit findings, the importance of diligent compliance of policies and procedures, records m...
Views of Responding Officials: The Department agrees with the finding and will implement corrective action. Corrective Action Taken or Planned: 1. Child Welfare Service (“CWS”) staff will be informed of the audit findings, the importance of diligent compliance of policies and procedures, records maintenance and this corrective action plan. 2. Unit staff (Licensing, CWS, and FPPEU) who manage cases identified with errors in this audit will be retrained, ensuring familiarity with grant requirements and related policies and procedures. • Staff will be given coaching/supervisory support to correctly complete documentation. 3. Case specific audit findings and corrective action taken will be noted in each record where there was a finding. • Locate Police Protective Custody form, Voluntary Foster Custody Agreement, or other documentation which clarifies whether the child was removed as part of a voluntary placement agreement or judicial determination. • Locate missing clearances or re-run them if not located, placing note in record about audit re run. Note: Not all clearances are secured prior to placement; FBI clearances come later and are not required prior to placement in a “provisionally licensed” home. • Document the qualifying need for Difficulty of Care (“DOC”) determination for the records, showing how DOC was calculated. • Review resource caregiver licensing status and locate missing license or reissue license. • Investigate the case where the Judicial Determination was missing and therefore did not support the removal of the child was contrary to the welfare of the child, if the Department made reasonable efforts to prevent removal and finalize the permanency plan, and if the determination was within 60 days from removal. i. Locate court order documenting “contrary to welfare” language, verifying timelines, place in record and document findings. • Locate missing Imua Kakou minutes or secure additional documentation validating monthly meeting requirement was met. 4. The identified errors and the related corrective action steps proposed above will be reviewed by CWS Administrators, staff supervisors, and the Management Information Compliance Unit (“MICU”) within 90 days to ensure missing documentation has been secured and/or properly noted in record. 5. MICU staff will audit records with findings to ensure errors have been documented and corrected. • MICU will work with Branch Administrators, Social Services Assistants (“SSA”) and program personnel to ensure file updates with completion of missing information. 6. As CWS implements this corrective action plan and monitors the results, the action steps proposed in 1 – 5 may be modified, based on input from CWS Administrators or exploration groups with line staff who complete this documentation. Expected Completion Date: May 31, 2024 and on-going Responding Officials: Kisha C. Raby, Social Services Division, Child Welfare Services Program Development Office, Administrator
View Audit 302108 Questioned Costs: $1
Corrective Action Plan For the Fiscal Year Ended June 30, 2023 Section III – Federal Awards Findings and Questioned Costs Finding 2023-001, Timesheet – Timekeeping (Assistance Listing 93.829) Persons Responsible: Irene Math, Chief Financial Officer, John Harrington Controller Comment: The federal...
Corrective Action Plan For the Fiscal Year Ended June 30, 2023 Section III – Federal Awards Findings and Questioned Costs Finding 2023-001, Timesheet – Timekeeping (Assistance Listing 93.829) Persons Responsible: Irene Math, Chief Financial Officer, John Harrington Controller Comment: The federal program 93.829 requires that the distribution of salary and wages charged to federal awards be based on actual employee activity as reflected in personal activity reports (timesheets), prepared after-the-fact, that include the total activity for which employees were compensated. Response: WJCS implemented weekly manual timesheets to track staff time and attendance on Federal contracts. These timesheets are used to appropriately allocate salaries and wages to federal awards. However, these timesheets are not integrated into a standard agency-wide payroll processing system. In automated systems, timesheets are embedded in an organization’s time and attendance and payroll system. In the first quarter of 2023 WJCS commenced the process of assessing system options and to implement an agency-wide time and attendance system for all WJCS employees. This includes working with our existing payroll processor, and engaging payroll consultants to ensure comprehensive timekeeping, including maintaining the allocation of hours worked by program for all employees. Utilizing these enhancements to payroll tracking will allow WJCS to completely and accurately allocate payroll costs to grants with fewer mechanical steps which increase the risk of miscalculations. In the interim WJCS updated the existing manual process to include the allocation of hours worked by program. Estimated Completion Date: The agency-wide time and attendance system will be implemented by November, 2024.
In order to ensure accurate record keeping of hours charged to salaries and wages, the time keeping software has been restricted to prevent education hours and standard hours to duplicate the hours charged to salaries and wages. Time-sheet signoff by supervisors require a review of education hours ...
In order to ensure accurate record keeping of hours charged to salaries and wages, the time keeping software has been restricted to prevent education hours and standard hours to duplicate the hours charged to salaries and wages. Time-sheet signoff by supervisors require a review of education hours to ensure hours are properly recorded. Person(s) Responsible: Payroll Administrator/Director of Finance Timing for Implementation: Effective December 1, 2023
Action taken in response to finding: The finance department has taken an action in response to the circumstances which led up to this finding. We have implemented a new Accounts Payable Automation software (Bill.com) to help manage the process and documentation of all vendor payments. This software,...
Action taken in response to finding: The finance department has taken an action in response to the circumstances which led up to this finding. We have implemented a new Accounts Payable Automation software (Bill.com) to help manage the process and documentation of all vendor payments. This software, when coupled with the newly implemented ERP (Sage Intacct), allow the finance team to systematically compile and access vendor documentation without the use of a separate, manual filing system. Name(s) of the contact person(s) responsible for corrective action: Jeffrey Nelson, Accounting and Financial Analysis Director Planned completion date for corrective action plan: 7/1/2023
Action taken in response to finding: Management will create a process for creating and maintaining an approved vendor list as suggested. Name(s) of the contact person(s) responsible for corrective action: Christopher Dons, Chief Financial Officer Planned completion date for corrective action plan:...
Action taken in response to finding: Management will create a process for creating and maintaining an approved vendor list as suggested. Name(s) of the contact person(s) responsible for corrective action: Christopher Dons, Chief Financial Officer Planned completion date for corrective action plan: September 30, 2024
Action taken in response to finding: Any changes made to the UDS report that are prompted from the report’s HRSA review are first made in the supporting file documentation and then carried to the final report itself. This was a human error that was not repeated for the subsequent year’s UDS report. ...
Action taken in response to finding: Any changes made to the UDS report that are prompted from the report’s HRSA review are first made in the supporting file documentation and then carried to the final report itself. This was a human error that was not repeated for the subsequent year’s UDS report. Name(s) of the contact person(s) responsible for corrective action: Christopher Dons, Chief Financial Officer Planned completion date for corrective action plan: March 31, 2024
Action taken in response to finding: LCHC maintains an error log on its intranet. Among the various categories of errors that are tracked is an insurance information group. Errors are created by a variety of stakeholders including the billing staff, registration representative direct supervisors and...
Action taken in response to finding: LCHC maintains an error log on its intranet. Among the various categories of errors that are tracked is an insurance information group. Errors are created by a variety of stakeholders including the billing staff, registration representative direct supervisors and the finance department’s internal auditor. One on one meetings to review errors that are pervasive with a staff person receiving errors are one of the ways LCHC strives to ensure the registration experience for each LCHC patient is consistent, thorough and accurate. These are of course preventative measures intended to maintain the integrity of the process and are not able to guarantee perfect outcomes. LCHC will continue to provide its training and retraining efforts and where practical, expand sample sizes as it strives to remedy this finding. Name(s) of the contact person(s) responsible for corrective action: Christopher Dons, Chief Financial Officer Planned completion date for corrective action plan: March 31, 2024
Action taken in response to finding: The finance department has taken action in response to the circumstances which led up to this finding. We have added an accountant position to the team whose primary responsibility is to organize and invoice all grants for the organization. The additional staff p...
Action taken in response to finding: The finance department has taken action in response to the circumstances which led up to this finding. We have added an accountant position to the team whose primary responsibility is to organize and invoice all grants for the organization. The additional staff person allows a more thorough and detailed review of allowable grant costs, specifically prorated payroll charges. Name(s) of the contact person(s) responsible for corrective action: Jeffrey Nelson, Accounting and Financial Analysis Director Planned completion date for corrective action plan: 9/30/2023
View Audit 302089 Questioned Costs: $1
The system is being reviewed to ensure flags are set not only from the Central Process System (CPS) on the ISIR as an alert, but to implement secondary measures in PowerFaids to flag the student’s electronic file record as part of the communication process that the counseling unit must review. Staff...
The system is being reviewed to ensure flags are set not only from the Central Process System (CPS) on the ISIR as an alert, but to implement secondary measures in PowerFaids to flag the student’s electronic file record as part of the communication process that the counseling unit must review. Staff will be counseled and additional training is being provided to ensure all staff are knowledgeable and conscientious of policy, review and the calculation process when determining yearly and aggregate loan limits. The University will be implementing Transfer Monitoring which has been discussed as preparation of bringing up a new system.
View Audit 302079 Questioned Costs: $1
To address and eliminate the prior audit finding related to Return of Title IV Funds, Academic Affairs and Records and Registration have been working closely with, and to train and educate Deans and Faculty on the Federal Regulations and Guidelines. Internal controls focused on monitoring, documenti...
To address and eliminate the prior audit finding related to Return of Title IV Funds, Academic Affairs and Records and Registration have been working closely with, and to train and educate Deans and Faculty on the Federal Regulations and Guidelines. Internal controls focused on monitoring, documenting, electronically reporting, follow-up reviewing and reporting of students’ last date of attendance and academic related activity have been implemented. The Registrar Office will work with the comparable offices at the consortia universities to implement reporting requirements for timely notification and documentation of withdrawals and/or no-shows to avoid repeat findings. Controls are being tightened between Academic Affairs, the Office of Records and Registration and the Office of Financial Aid & Scholarships.
View Audit 302079 Questioned Costs: $1
Corrective Action Plan: Due to limitation on the FISAP, once the number of borrowers and loan balances are entered they cannot be changes, as a result there were minor differences, approximately 5 students and less than $10,000, that had been carried forward for several years. The Department of Edu...
Corrective Action Plan: Due to limitation on the FISAP, once the number of borrowers and loan balances are entered they cannot be changes, as a result there were minor differences, approximately 5 students and less than $10,000, that had been carried forward for several years. The Department of Education program officer, as well as the University’s loan servicer ECSI, have communicated that some of the numbers may differ due to payments or cancellations made after the loans were recorded. The Department of Education has accepted the information as final. The University has completed the Perkins Loan program liquidation process. The re-assignment of eligible loans to the Department of Education has been completed. Those not eligible for re-assignment have been deemed uncollectible and written-off. Once the University’s audit has been submitted we anticipated receiving the final close out letter from the Department of Education, which will officially close the Perkins Loan program at the University. Anticipated Completion Date: February 28, 2024
View Audit 302075 Questioned Costs: $1
Corrective Action Plan: The University experienced significant staffing changes in the TRIO programs. The changes in staffing lead to a loss of institutional knowledge, and interrupted policy and process enforcement. In many instance the documentation wasn’t available due to the transition of key i...
Corrective Action Plan: The University experienced significant staffing changes in the TRIO programs. The changes in staffing lead to a loss of institutional knowledge, and interrupted policy and process enforcement. In many instance the documentation wasn’t available due to the transition of key individuals. Continuous monitoring of program records will be implemented to ensure compliance with federal, Institutional and program requirements. The programs will review existing program operating procedures manuals to identify needed updates to current policies and procedures to align with federal, Institutional and program requirements. The program stall will also engage in professional development opportunities to improve grant management. Anticipated Completion Date: July 31, 2024
Corrective Action Plan: The University experienced significant staffing changes in the TRIO programs. The changes in staffing lead to a loss of institutional knowledge, and interrupted policy and process enforcement. In many instance the documentation wasn’t available due to the transition of key ...
Corrective Action Plan: The University experienced significant staffing changes in the TRIO programs. The changes in staffing lead to a loss of institutional knowledge, and interrupted policy and process enforcement. In many instance the documentation wasn’t available due to the transition of key individuals. During the period of staff transition for the McNair program, original communication showing previous approval from the Program Officer was not accessible. While the Department of Education provided correspondence granting McNair projects permission to reallocate travel funding to increase stipends for participants, given the limitations on travel capabilities due to the COVID-19 pandemic, which was subsequently confirmed by the Program Officer, we encountered difficulty locating explicit documentation approving the specific stipend increase amount. Continuous monitoring of program records will be implemented to ensure compliance with federal, Institutional and program requirements. The programs will review existing program operating procedures manuals to identify needed updates to current policies and procedures to align with federal, Institutional and program requirements. The program stall will also engage in professional development opportunities to improve grant management. Anticipated Completion Date: July 31, 2024
View Audit 302075 Questioned Costs: $1
Corrective Action Plan: The University eliminated the position of Procurement Manager several years back, which decentralized the responsibility for procurement. The change led to a loss of institutional knowledge, and interrupted policy and process enforcement campus wide. While Government Sponso...
Corrective Action Plan: The University eliminated the position of Procurement Manager several years back, which decentralized the responsibility for procurement. The change led to a loss of institutional knowledge, and interrupted policy and process enforcement campus wide. While Government Sponsored Programs and Research (“GSPAR”) has a process for recording and inventorying federal purchases, the information was not updated timely and did not provide required information. GSPAR will enhance update its inventory tracking process to capture required information. In addition, the grant onboarding process will be revised to emphasize key federal regulations and emphasize the importance of compliance. Reminders will also be provided during GSPAR’s semi-annual grant compliance workshops. Anticipated Completion Date: December 31, 2024
Corrective Action Plan: The University eliminated the position of Procurement Manager several years back, which decentralized the responsibility for procurement. The change led to a loss of institutional knowledge, and interrupted policy and process enforcement campus wide. GSPAR will enhance its ...
Corrective Action Plan: The University eliminated the position of Procurement Manager several years back, which decentralized the responsibility for procurement. The change led to a loss of institutional knowledge, and interrupted policy and process enforcement campus wide. GSPAR will enhance its internal controls and implement formal policies and procedures to ensure that those responsible for procurement activities are aware of, and comply with, all federal purchasing rules and regulations. The GSPAR will ensure the appropriate documentation related to debarment, sole source justification and bidding process are received, or attached to the purchasing requisition, prior to approving purchases. In addition, the grant onboarding process will be revised to emphasize key federal regulations and emphasize the importance of compliance. Reminders will also be provided during GSPAR’s semi-annual grant compliance workshops. Anticipated Completion Date: December 31, 2024
Corrective Action Plan: The University experienced turnover of key positions throughout campus, particularly in the Division of Finance, Government Sponsored Programs and various federally funds programs. The changes in staffing lead to a loss of institutional knowledge, and interrupted policy and ...
Corrective Action Plan: The University experienced turnover of key positions throughout campus, particularly in the Division of Finance, Government Sponsored Programs and various federally funds programs. The changes in staffing lead to a loss of institutional knowledge, and interrupted policy and process enforcement campus wide. The Office of Government Sponsored Programs (“GSPAR”) will enhance its internal controls, policies and procedures to ensure the appropriate documentation to support is maintained, and to ensure that level of effort is appropriately documented and reported. GSPAR will be working in conjunction with the Office of Human Resources, including Payroll, to ensure accuracy, or timely correction, of general ledger postings. In addition, the grant onboarding process will be revised to emphasize key federal regulations and emphasize the importance of compliance. Reminders will also be provided during GSPAR’s semi-annual grant compliance workshops. Anticipated Completion Date: December 31, 2024
View Audit 302075 Questioned Costs: $1
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